| 19-03575 | 04/04/2022 | Claimant(s): Kimberly Hartman
Claimant Lawyers(s): Brittany Weiner
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Denis Dice
Arbitrator(s): Ellen F. Kandell, James Ray Eyler, Michele Francene Dandrea
Hearing Site: Baltimore, MD
| | |
| 18-03249 | 11/25/2019 | Claimant(s): Brian Toon, Joseph Sperber, Phyllis Schreiner, Ronda Montgomery
Claimant Lawyers(s): Joseph J. Sperber
Respondent(s): TD Ameritrade., E*Trade Securities LLC
Respondent Lawyers(s): James J. Vihstadt, Meredith Hoffman
Arbitrator(s): Ellen F. Kandell, Joseph J. Dougherty, Gerald S. Smith
Hearing Site: Baltimore, MD
|  | $0 |
| 19-00211 | 07/10/2019 | Claimant(s): Ronald Bare
Claimant Lawyers(s): Elaine Rice
Respondent(s): Securities America.
Respondent Lawyers(s): Tyler Schubauer
Arbitrator(s): Louis H. Miron, John Michael Derderian, Ellen F. Kandell
Hearing Site: Wilmington, DE
| | |
| 17-03185 | 05/02/2018 | Claimant(s): Shaun Rashid
Claimant Lawyers(s): Daniel McCartin
Respondent(s): Morgan Stanley, Reza Niazi-Sai
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Alan S. Carmel, Ellen F. Kandell, James Drew Butler
Hearing Site: Baltimore, MD
| | Expungement |
| 17-00219 | 04/03/2018 | Claimant(s): Brandon Oliver
Claimant Lawyers(s): Timothy C. Lynch
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Jim Geiger, Timothy J. Wright, Ellen F. Kandell
Hearing Site: Baltimore, MD
| | Expungement |
| 08-00928 | 04/14/2009 | Claimant(s): H. Scherr
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julianne L. Peck
Arbitrator(s): Lloyd Haas, T.S.L. Perlman, Ellen F. Kandell
Hearing Site: Baltimore, MD
| | |
